Job Description

Job Description

The Senior Compliance Group Manager oversees assigned compliance functions for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various lines of business, banking offices, and operating departments. This job manages compliance aspects of the applicable laws and regulations having a significant impact on the operations or strategy of the Company. The job interacts with senior management in assigned areas, developing, revising, and implementing policies and procedures to ensure compliance with applicable laws and regulations. The Senior Compliance Group Manager employs various software applications and desktop tools to consolidate reported data and analyze information to detect potential compliance issues and concerns. The Senior Compliance Group Manager manages assigned compliance managers and/or specialists (as applicable) by coordinating activities and providing coaching and counseling as needed. This job participates in annual risk assessment process for development of department monitoring plan and participates in routine monitoring plan meetings. The Senior Compliance Group Manager supports the Chief Compliance Officer (CCO) in ensuring the Bank's compliance with all applicable federal rules and regulations.

Serves as Compliance owner or resource on projects involving most critical and complex laws and regulations that have a significant impact on the operations or strategy of the Company.
Oversees the development of internal processes to identify and manage compliance risks.
Leads department strategic planning process to achieve goals.
Maintains in depth knowledge of current FINRA, SEC, state and related regulations and issues.
Leads, manages and conducts monitoring/surveillance of financial advisor securities activities and investment advisory activities through the use of exception reports and other resources to identify and resolve compliance and regulatory issues
Leads and conducts reviews of advertising and marketing material in accordance with FINRA rules and regulations
Manages the review of issues and analyzes trends and self monitoring reports for assigned teams to ensure department standards are met.
Oversees the planning, creation and maintenance of Corporate compliance database(s) to collect, manage and report information required by management.
Oversees the testing and implementation of new department databases and major database enhancements.
Oversees the resolution of compliance-related problems encountered by various areas of the Company as related to the most critical laws and regulations.
Represents Department or Chairs various Company Committees to address activities that are impacted by compliance laws and regulations.
Directs the review of conversion/merger issues and develops any notices and/or disclosures necessitated by the conversion/merger
Coordinates budget planning with CCO
Speaks at relevant conference forums.
Appoints designee to bank acquisition due diligence efforts.
Oversees the development of staff to support departmental succession planning

Requirements

Bachelor's degree or equivalent experience required
7-10 Years of experience (at a bank broker-dealer or as SEC or FINRA examiner preferred)
FINRA Series 7 and 24 licenses required. Series 65 recommended
Demonstrated in-depth working knowledge of federal and state securities laws and regulations
Familiarity with broker-dealer compliance, Pershing NetX360, Actimize, Envestnet and Global Relay systems a plus.
Proven ability to develop project plans and independently coordinate and complete projects.
Excellent written and verbal communication skills including a demonstrated ability to clearly
provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
Proven ability to influence others' actions and decisions without express authority
Proven ability to analyze complex laws and regulations and relate those laws to procedures of assigned areas
Demonstrated ability to develop and maintain strong internal and external business relationships
Excellent analytical skills.
Proven ability to employ desktop technologies to advantage, developing systems and tools for auditing, testing and reports
Proficiency in Microsoft Office other utility applications (e.g., Adobe Acrobat)
Strong proficiency in Microsoft Excel and Access
Demonstrated knowledge of database programming languages

Hours

40

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.